防范利用内幕信息获利!中基协出手,来看四大要点
券商中国·2025-04-12 23:19

Core Viewpoint - The article discusses the revised "Implementation Rules for the Integrity of Fund Management Institutions and Their Staff," aimed at fostering a healthy development of the fund industry and protecting investors' rights through enhanced self-discipline and management [1][2]. Group 1: Background of the Revision - The rapid development of the fund industry has led to a demand for a strong industry culture, prompting the need for a politically aware and ethically sound financial workforce [4]. - The original rules were established in March 2020 to guide fund management institutions in implementing integrity management, but shortcomings were identified, necessitating updates to address new risks and issues [4]. Group 2: Key Points of the Revision - The revised rules focus on four main areas: enhancing the role of party building, improving integrity supervision mechanisms, strengthening internal control management, and reinforcing self-discipline [5][2]. Group 3: Specific Provisions - Enhancing Party Building and Supervision: The rules emphasize the importance of party work in integrity management, establishing a dual interaction mechanism between internal supervision and integrity management [7]. - Strengthening Internal Control Management: Responsibilities for integrity management are clarified, including strict measures against bribery and non-compliant financial behaviors, and the need for timely adjustments to marketing standards [10][11]. - Detailing Integrity Requirements in Key Business Areas: The rules now include comprehensive integrity management for fund advisory services, investment research, fund liquidation, and performance assessment [14][16][17]. - Reinforcing Self-Discipline: There is a strong emphasis on punishing bribery and updating self-discipline measures in accordance with existing regulations [19][20].